| Gilbert Gil | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 20, 2017 | Jun 19, 2017 |
| Jonathan Lee Hyland | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 17, 2017 | Sep 5, 2017 (80 d) |
| James Howard Dockens | Fulcrum Capital, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 12, 2017 | Sep 18, 2017 (98 d) |
| Christopher John Lewein | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | May 30, 2017 | May 31, 2017 |
| Zachary Mano Gilson | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 24, 2017 | Jun 1, 2017 |
| Anthony Christopher Rue | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 11, 2017 | May 9, 2017 |
| Nathan Jon Schwichtenberg | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 3, 2017 | Apr 28, 2017 |
| Ryan Christopher Doran | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | May 2, 2017 | Mar 12, 2018 (314 d) |
| Michael Craig Lorenzen | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. BD affiliated | Other | May 1, 2017 | Dec 13, 2018 (591 d) |
| Kayleen Elizabeth Schultz | Hightower Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 18, 2017 | May 22, 2017 (34 d) |
| Donald G Thomas | MML Investors Services, LLC other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Apr 6, 2017 | Aug 20, 2018 (501 d) |
| Lindsey Sprague | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Apr 6, 2017 | Apr 18, 2017 |
| Melissa Rae Bestul | Advisornet Wealth Partners other | U.S. Bancorp Investments, Inc. other | Other | Apr 4, 2017 | Jul 10, 2017 (97 d) |
| Michael Andrew Brandon | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | Mar 28, 2017 | Mar 27, 2017 |
| Lauren Griggs | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2017 | Jun 5, 2024 (2638 d) |
| Jeffery Perkins | Avantax Advisory Services other | U.S. Bancorp Investments, Inc. other | Other | Mar 3, 2017 | Feb 22, 2017 |
| Cheryl Annette Burress | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Mar 2, 2017 | Feb 27, 2017 |
| Peter Chow | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Feb 27, 2017 | Feb 27, 2017 |
| Kristin Lauri Mullins | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Feb 23, 2017 | Feb 22, 2017 |
| Mark Alan Gerardi | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Feb 16, 2017 | Feb 16, 2017 |
| Carlos Alberto Sanchez | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 8, 2017 | Feb 2, 2017 |
| Laura Jeannine Halsey | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 8, 2017 | Feb 9, 2017 |
| Robyn L Martinez | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Feb 7, 2017 | Jun 30, 2017 (143 d) |
| Andrew David Scianna | Summit Financial Group Inc other | U.S. Bancorp Investments, Inc. other | Other | Jan 24, 2017 | Jan 23, 2017 |
| Marilyn F Smith | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2017 | Jan 3, 2017 |
| James Evan Sarow | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Jan 4, 2017 | Jan 4, 2017 |
| Craig R. Kapp | Transamerica Retirement Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 31, 2016 | May 15, 2017 (135 d) |
| Katherine Marie Hooper | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 22, 2016 | Jan 3, 2017 |
| Kevin James Whitehead | Td Ameritrade, Inc. no RAUM | U.S. Bancorp Investments, Inc. other | Other | Dec 19, 2016 | Feb 1, 2017 (44 d) |
| Kevin James Whitehead | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 19, 2016 | Feb 1, 2017 (44 d) |
| Michael Allen Curley | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 16, 2016 | Dec 20, 2016 |
| Erin Michelle Kreiger | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 13, 2016 | Dec 13, 2016 |
| Natalie Rebekah Barnett | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Dec 5, 2016 | Dec 5, 2016 |
| Alison Anne Coacher | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2016 | Dec 8, 2016 |
| Robert Alvin Cron | Wealthspire Advisors other | U.S. Bancorp Investments, Inc. other | Other | Nov 29, 2016 | Mar 31, 2017 (122 d) |
| Christopher Calin Mcgrann | Alliancebernstein L.P. other | U.S. Bancorp Investments, Inc. other | Other | Nov 22, 2016 | Dec 5, 2016 |
| Chad C Basel | Transamerica Retirement Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Nov 18, 2016 | Sep 20, 2017 (306 d) |
| Ricardo J Garcia | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 15, 2016 | Nov 7, 2016 |
| Christopher Charles Martin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 31, 2016 | Nov 1, 2016 |
| Katherine Marie Giles | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 27, 2016 | Nov 8, 2016 |
| Richard Lewis Faatz | Cetera Investment Advisers LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 26, 2016 | Oct 26, 2016 |
| Joshua James Mcanally | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 26, 2016 | Oct 24, 2016 |
| Richard Carl Sexton | Msi Financial Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 14, 2016 | Feb 2, 2017 (111 d) |
| Michael James Castillo | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 13, 2016 | Oct 4, 2016 |
| Sue Park Yoon | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 13, 2016 | Oct 14, 2016 |
| Jerod Ashley Tilton | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Oct 5, 2016 | Sep 30, 2016 |
| Daniel Heath Terrall | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 5, 2016 | Sep 28, 2016 |
| Jacob August Kujala | Msi Financial Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 4, 2016 | Oct 11, 2016 |
| John Myongkyun Im | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 3, 2016 | Sep 27, 2016 |
| Julie L Brandt | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Investments, Inc. other | Other | Sep 30, 2016 | May 15, 2017 (227 d) |
| Tiffany Marie Darst | Kms Financial Services, Inc other | U.S. Bancorp Investments, Inc. other | Other | Sep 26, 2016 | Oct 20, 2016 |
| Brant Mark Wiehardt | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Investments, Inc. other | Other | Sep 15, 2016 | May 16, 2017 (243 d) |
| Christopher Louis Hutson | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Investments, Inc. other | Other | Sep 13, 2016 | Sep 12, 2016 |
| Michael Mcgriff | Bb&T Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 25, 2016 | Aug 31, 2016 |
| Ashley M Amstadt | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Aug 19, 2016 | Dec 12, 2016 (115 d) |
| James Stuart Linderer | Bfc Planning, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 16, 2016 | Oct 13, 2016 (58 d) |
| Andrew Stephen Mancuso | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 15, 2016 | Aug 8, 2016 |
| Mark Richard Olson | Cuna Brokerage Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 12, 2016 | Aug 11, 2016 |
| Mark Thomas Defeo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 11, 2016 | Jun 23, 2017 (316 d) |
| Andrew Wayne Joski | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 8, 2016 | Oct 6, 2016 (59 d) |